Form 4 for QS QuantumScape Corp
Accepted 2021-12-09 00:00:00 ET · period of report 2021-12-07 · accession 0001209191-21-068737 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-12-09 | 2021-12-07 | QS | DOERR L JOHN | Dir | J - Other | $0.00 | -4.16M | 42.6K | -99% | $0 |
| DI | 2021-12-09 | 2021-12-07 | QS | DOERR L JOHN | Dir | C - Cnv Deriv | $0.00 | +5.07M | 5.07M | New | $0 |
| DI | 2021-12-09 | 2021-12-07 | QS | DOERR L JOHN | Dir | C - Cnv Deriv | $0.00 | -5.07M | 5.07M | -50% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-12-07 | J | A | 132,679 | $0.00 | 499,622 | I see footnote | — | — | (F7) Shares are held by Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustee. |
| 2 | Common | Class A Common Stock | 2021-12-07 | J | A | 1,502 | $0.00 | 4,468 | I see footnote | — | — | (F9) The managing member of Lupum Ventures, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 3 | Common | Class A Common Stock | 2021-12-07 | J | A | 555,960 | $0.00 | 1,671,587 | I see footnote | — | — | (F13) The sole member of Portico Libre, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 4 | Common | Class A Common Stock | 2021-12-07 | J | A | 14,313 | $0.00 | 42,617 | I see footnote | — | — | (F10) Shares are held by The Austin 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee. |
| 5 | Common | Class A Common Stock | 2021-12-07 | C | A | 5,070,532 | $0.00 | 5,070,532 | I see footnote | — | — | (F1) The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and KPCB XIV Founders Fund, LLC ("KPCB XIV FF") (collectively, the "KPCB Entities"). The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by the KPCB Entities and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 6 | Common | Class A Common Stock | 2021-12-07 | J | A | 15,942 | $0.00 | 47,568 | I see footnote | — | — | (F8) The sole member of KPIC, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 7 | Common | Class A Common Stock | 2021-12-07 | J | D | 1,272,486 | $0.00 | 244,680 | I see footnote | — | — | (F4) The shares are held directly by KPCB XIV Associates. The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 8 | Common | Class A Common Stock | 2021-12-07 | J | A | 1,449,954 | $0.00 | 1,517,166 | I see footnote | — | — | (F4) The shares are held directly by KPCB XIV Associates. The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 9 | Common | Class A Common Stock | 2021-12-07 | J | D | 5,070,532 | $0.00 | 0 | I see footnote | — | — | (F1) The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and KPCB XIV Founders Fund, LLC ("KPCB XIV FF") (collectively, the "KPCB Entities"). The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by the KPCB Entities and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 10 | Common | Class A Common Stock | 2021-12-07 | J | A | 14,313 | $0.00 | 42,617 | I see footnote | — | — | (F11) Shares are held by The Hampton 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee. |
| 11 | Derivative | Class B Common Stock | 2021-12-07 | C | D | 5,070,532 | $0.00 | 5,070,532 | I see footnote | — · — to — | 5,070,532 Class A Common Stock | (F2) Represents a pro-rata in-kind distribution of Common Stock of the Issuer by KPCB XIV and KPCB XIV FF without consideration to their members (the "Fund Distribution"). (F14) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the Reporting Person's election and has no expiration date. |